Department of Transportation
Table of Contents
Section Number
Programs and Organization
1
Grant Administration
2
Regulations
3
Publications
4
Directory
5
Grant Administration Regulations
6
Section 1 Department of Transportation Programs and Organization
The Department of Transportation (DOT) was established by an act of Congress on Oct. 15,
1966, and began operations April 1, 1967. The department coordinates national transportation
policies and ensures efficient administration of government transportation programs. Its mission
is to serve the United States by ensuring a fast, safe, efficient, accessible and convenient transportation system that meets the nation’s vital national interests and enhances the quality of life
of the American people today and into the future.
DOT consists of an office of the secretary and 11 operating administrations (see the DOT
organization chart, Fig. 1). Its structure is highly decentralized, with most grantmaking authority
delegated to the heads of the operating administrations. Four of these agencies — the Federal
Highway Administration (FHWA), Federal Transit Administration (FTA), Federal Aviation Administration (FAA) and the National Highway Traffic Safety Administration (NHTSA) — administer
the vast majority of DOT grant programs.
Federal Highway Administration
The Federal Highway Administration provides assistance in all aspects of highway transportation, including coordinating highways with other modes of transportation, to ensure the most
efficient movement of people and goods, and foster safe use of the nation’s highways.
In addition to its headquarters in Washington, D.C., FHWA maintains a network of five resource centers and a division office in each state, the District of Columbia and Puerto Rico (see
Section 5).
The Federal-Aid Highway Act of 1956, coupled with the Highway Revenue Act of that same
year, authorized significant funding of the Highway Interstate System, and established the Highway Trust Fund as a way to finance the accelerated highway program. Revenues accruing to the
Highway Trust Fund were dedicated to the financing of federal-aid highways.
In August 2005, the six-year, $286.4 billion Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) was enacted. The act reauthorized
programs funded through the Transportation Equity Act for the 21st Century of 1998 (TEA-21)
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Federal Grants Management Handbook
Office of Drug and
Alcohol Policy and
Compliance
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General
Counsel
Executive
Secretariat
August 2016
Federal Motor
Carrier Safety
Administration
Assistant Secretary
for Aviation and
International Affairs
Office of
Intelligence and
Security
Pipeline and
Hazardous
Materials Safety
Administration
National Highway
Traffic Safety
Administration
Assistant Secretary
for Administration
Federal Railroad
Administration
Research and
Innovative
Technology
Administration
Federal Highway
Administration
Assistant Secretary
for Governmental
Affairs
Office of the Chief
Information Officer
Undersecretary for Policy
Office of Small and
Disadvantaged
Business Utilization
Maritime
Administration
Federal Aviation
Administration
Assistant Secretary
for Budget and
Programs/Chief
Financial Officer
Board of Contract
Appeals
Saint Lawrence
Seaway Development
Corporation
Federal Transit
Administration
Assistant Secretary
for Transportation
Policy
Office of Civil
Rights
Chief of Staff
Deputy Secretary
Secretary
Fig. 1 — U.S. Department of Transportation
Office of Inspector
General
Office of Public
Affairs
2
Department of Transportation
Federal Grants Management Handbook
Department of Transportation3
to maintain and improve surface transportation systems, with investment for highways, transit,
rail and intermodal projects. SAFETEA-LU continues core highway, bridge and transit programs
and focuses on issues such as improving safety and protecting the environment, as well as adding new programs. These acts were most recently followed by MAP-21, the Moving Ahead for
Progress in the 21st Century Act (Pub. L. 112-141), which was signed into law on July 6, 2012.
Funding surface transportation programs at more than $105 billion for fiscal years 2013 and
2014, MAP-21 was the first long-term highway authorization enacted since 2005.
In December 2015, the Fixing America’s Surface Transportation (FAST) Act (Pub. L. No.
114-94) became law, authorizing $305 billion over federal fiscal years (FY) 2016 through 2020
for highway, highway and motor vehicle safety, public transportation, motor carrier safety, hazardous materials safety, rail, and research, technology and statistics programs. The FAST Act
focuses on safety, keeps intact the established structure of the various highway-related programs
DOT manages, continues efforts to streamline project delivery and provides a dedicated source
of federal dollars for freight projects.
Federal Transit Administration
The Federal Transit Administration (FTA) is the division of DOT that provides financial
assistance to develop new transit systems and improve, maintain and operate existing systems. FTA oversees, primarily through its 10 regional offices, awards to state and local transit
providers.
FTA administers grant programs that assist states and localities in planning, building, modernizing and (for localities with populations of less than 2,000) operating public mass transportation systems. FTA also issues awards for research, development, demonstrations and training in
various aspects of mass transportation. Public transportation includes buses, subways, light rail,
commuter rail, monorail, passenger ferry boats, trolleys, inclined railways, and people movers.
Award recipients are responsible for managing their programs in accordance with federal requirements, and FTA is responsible for ensuring that recipients follow federal mandates along with
statutory and administrative requirements.
Federal Aviation Administration
Federal Aviation Administration (FAA) is responsible for oversight of the nation’s airports
and air traffic control system, and the promotion of aviation safety.
FAA is headed by an administrator who is assisted by a deputy administrator and chief of
staff. Reporting to the administrator are 10 assistant administrators, the chief counsel and five
associate administrators who direct the line-of-business organizations that carry out the agency’s
principle functions.
The Vision 100 — Century of Aviation Reauthorization Act, signed into law in December
2003, created the concept of a Next Generation Air Transportation System (NextGen). The following month, the DOT announced plans for a new, multi-year, multi-agency effort to develop
an air transportation system for the year 2025 and beyond. A Joint Planning and Development
Office at FAA comprised of representatives from FAA, National Aeronautics and Space Administration, the departments of Transportation, Defense, Homeland Security and Commerce, and the
White House Office of Science and Technology Policy was developed to create and carry out an
integrated plan for NextGen. DOT also unveiled the Integrated Plan for the Next Generation Air
Transportation System, which lays out goals, objectives and requirements necessary to create the
NextGen system.
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Federal Grants Management Handbook
4
Department of Transportation
National Highway Traffic Safety Administration
The National Highway Traffic Safety Administration (NHTSA) was established to reduce the
number of deaths, injuries and economic losses resulting from traffic accidents, and to perform
various regulatory functions concerning vehicle safety and performance.
Established by the Highway Safety Act of 1970 as the successor to the National Highway
Safety Bureau, NHTSA provides funding to state and local governments for programs that focus
on setting and enforcing safety performance standards for motor vehicles and motor vehicle
equipment. The agency also investigates safety defects in motor vehicles, sets and enforces
fuel economy standards, helps states and local communities reduce the threat of drunk drivers,
promotes the use of safety belts, child safety seats and air bags, investigates odometer fraud, establishes and enforces vehicle anti-theft regulations and provides consumer information on motor
vehicle safety topics.
Readers may wish to consult the Catalog of Federal Domestic Assistance (CFDA) for more
detailed information about award programs offered by DOT agencies. Because federal appropriations vary each year, not all discretionary programs are funded every year. The CFDA is available online at http://www.cfda.gov. The programs and their CFDA numbers are listed below.
Programs
Federal Aviation Administration
Airport Improvement Program
Aviation Research Grants
Air Transportation Centers of Excellence
Federal Highway Administration
Highway Research and Development Program
Highway Planning and Construction
Highway Training and Education
Recreational Trails Program
Transportation, Infrastructure, Finance and Innovation Act Program
Fuel-Tax Evasion – Intergovernmental Enforcement Effort
Federal Motor Carrier Safety Administration
National Motor Carrier Safety
Performance Registration Information Systems Management
Commercial Driver License State Program
Border Enforcement Grants
Safety Data Improvement Program
Commercial Motor Vehicle Operator Training Grants
Commercial Vehicle Information Systems and Networks
Motor Carrier Research and Technology Programs
Federal Railroad Administration
Railroad Safety
Railroad Research and Development
Railroad Development
National Railroad Passenger Corporation Grants
Railroad Rehabilitation and Improvement Financing Program
Capital Assistance to States — Intercity Passenger Rail Service
Maglev Project Selection Program — SAFETEA-LU
High-Speed Rail Corridors Intercity Passenger Rail Service – Capital Assistance Grants
Rail Line Relocation and Improvement
Railroad Safety Technology Grant
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CFDA
Number
20.106
20.108
20.109
20.200
20.205
20.215
20.219
20.223
22.240
20.218
20.231
20.232
20.233
20.234
20.235
20.237
20.239
20.301
20.313
20.314
20.315
20.316
20.317
20.318
20.319
20.320
20.321
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Department of Transportation5
Programs
Fiscal Year 2013 Hurricane Sandy Disaster Relief Grants to the National Railroad Passenger Corporation
Federal Transit Administration
Federal Transit — Capital Investment Grants
Federal Transit — Metropolitan Planning Grants
Federal Transit — Formula Grants
Formula Grants for Other Than Urbanized Areas
Capital Assistance Program for Elderly Persons and Persons With Disabilities
Public Transportation Research
Job Access — Reverse Commute
Capital and Training Assistance Program for Over-the-Road Bus Accessibility
Clean Fuels
Paul S. Sarbanes Transit in the Parks
New Freedom Program
Alternatives Analysis
Capital Assistance Program for Reducing Energy Consumption and Greenhouse Gas
Emissions
Passenger Rail Investment and Improvement (PRIIA) Projects for Washington Metropolitan
Area Transit Authority
State of Good Repair Grants Program
Bus and Bus Facilities Formula Program
Public Transportation Emergency Relief Program
Rail Fixed Guideway Public Transportation System State Safety Oversight Formula Grant
Program
Bus Testing Facility
National Highway Traffic Safety Administration
State and Community Highway Safety
Alcohol Impaired Driving Counter-measures Incentive Grants I
Occupant Protection Incentive Grants
Alcohol Open Container Requirements
Minimum Penalties for Repeat Offenders for Driving While Intoxicated
Safety Belt Performance Grants
State Traffic Safety Information System Improvement Grants
Incentive Grant Program to Prohibit Racial Profiling
Incentive Grant Program to Increase Motorcyclist Safety
Child Safety and Child Booster Seats Incentive Grants
National Highway Transportation Safety Administration Discretionary Safety Grants
National Priority Safety Programs
Pipeline and Hazardous Materials Safety Administration
Pipeline Safety Program Base Grants
Interagency Hazardous Materials Public Sector Training and Planning Grants
Technical Assistance Grants
State Damage Prevention Program
PHMSA Pipeline Safety One Call Grants
PHMSA Pipeline Safety Research & Development “Other Transaction Agreements”
Pipeline Safety Research Competitive Academic Agreement Program
Maritime Administration
Federal Ship Financing Guarantees
Assistance to Small Shipyards
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CFDA
Number
20.323
20.500
20.505
20.507
20.509
20.513
20.514
20.516
20.518
20.519
20.520
20.521
20.522
20.523
20.524
20.525
20.526
20.527
20.528
20.529
20.600
20.601
20.602
20.607
20.608
20.609
20.610
20.611
20.612
20.613
20.614
20.616
20.700
20.703
20.710
20.720
20.721
20.723
20.724
20.802
20.814
Federal Grants Management Handbook
6
Department of Transportation
CFDA
Number
20.816
20.817
20.818
20.819
20.820
20.821
Programs
America’s Marine Highway Grants
Air Emissions and Energy Initiative
Great Ships Initiative
Ballast Water Treatment Technologies
Maritime Studies and Innovations
Women on the Water
Office of the Secretary
University Transportation Centers Program
Biobased Transportation Research
Research Grants
Transportation Planning, Research and Education
Assistance to Small and Disadvantaged Businesses
Payments for Small Community Air Service Development
Surface Transportation — Discretionary Grants for Capital Investment
Surface Transportation Infrastructure — Discretionary Grants for Capital Investments II
Nationally Significant Freight and Highway Projects
20.701
20.761
20.762
20.931
20.910
20.930
20.932
20.933
20.934
Section 2 Grant Administration
Recipients of DOT awards must follow applicable agency regulations (see Section 3) and
agencywide regulations implementing the Office of Management and Budget’s (OMB’s) uniform
grant guidance (see Section 6). The Office of Acquisition and Grants Management provides
guidance to the operating administrations on grants management. Actual administrative responsibility for DOT awards rests with the operating administrations.
Nonfederal entities may apply for DOT awards at Grants.gov.
Uniform Grant Guidance
In revising its grants regulations as required under the uniform guidance, DOT expanded its
definition of program income — specifically, what is not classified as program income — in
comparison to the uniform guidance. OMB codified the uniform guidance under Title 2 of
the Code of Federal Regulations (2 C.F.R. Part 200). DOT adopted the uniform guidance into
its revised agency regulation, found at 2 C.F.R. Part 1201. These regulations supersede both
the former OMB circulars and former DOT grant administrative requirements based on the
OMB circulars listed at 49 C.F.R. Parts 18 and 19. This organization is explained in §1201.1
of DOT’s regulations. These regulations apply to new DOT grant awards issued after Dec. 26,
2014.
Generally, DOT’s program income definition follows §200.80 of the uniform guidance, with
the following additional language in italics:
“Program income means gross income earned by the nonfederal entity that is directly generated by a supported activity or earned as a result of the federal award during the period of
performance (see 2 C.F.R. 200.77, period of performance). Program income includes but is not
limited to income from fees for services performed, the use or rental or real or personal property
acquired under federal awards, the sale of commodities or items fabricated under a federal award,
license fees and royalties on patents and copyrights, and principal and interest on loans made with
federal award funds. Interest earned on advances of federal funds is not program income. Except
as otherwise provided in federal statutes, regulations, or the terms and conditions of the federal
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Federal Grants Management Handbook
Department of Transportation7
award, program income does not include rebates, credits, discounts, taxes, special assessments, levies, and fines raised by a grantee and subgrantee, and interest earned on any of them.”
Addressing standard application requirements, §200.206 of the uniform guidance states that
federal awarding agencies may only use application information collections approved by OMB
under the Paperwork Reduction Act of 1995 and OMB’s implementation regulations in 5 C.F.R.
Part 1320, Controlling Paperwork Burdens on the Public. However, DOT added in §1201.206
that these requirements do not apply to DOT formula grant programs, which do not require
applicants to apply for funds on an individual project basis as with some formula grants from
other federal agencies.
All DOT modifications to the uniform guidance were submitted to OMB, reviewed and approved. Concerning equipment, §200.313(b) says that a state must use, manage and dispose
of equipment that the state acquired under a federal award in accordance with state laws and
procedures. Other nonfederal entities must follow §200.313(c) through (e), which cover in detail
the effective use, management and disposal of equipment. DOT’s regulations expand the requirement in §200.313(b) to also cover a state government’s subrecipients, explaining in §1201.313
that “subrecipients of states shall follow such policies and procedures allowed by the state with
respect to the use, management and disposal of equipment acquired under a federal award.”
DOT’s regulations use similar language when addressing procurements by states. Section
200.317 says that a state, when procuring property and services under a federal award, must
follow the same policies and procedures it uses for procurements from its nonfederal funds, and
that all other nonfederal entities, including subrecipients of a state, will follow the procurement
standards in §§200.318-200.327. However, in §1201.317, DOT says that subrecipients of a state
shall follow such policies and procedures allowed by the state when procuring property and services under a federal award.
Addressing financial reporting, §200.327 of the uniform guidance states that unless otherwise
approved by OMB, federal awarding agencies may solicit only the standard, OMB-approved governmentwide data elements for collection of financial information, which currently is collected in
the Federal Financial Report. However, DOT in §1201.327 states that recipients of FHWA and
NHTSA financial assistance may use either FHWA, NHTSA or state financial reports.
In addition, while OMB states in §200.109 of the uniform guidance that it will review the
effectiveness of the provisions in the guidance at least every five years after Dec. 26, 2013,
DOT adds in §1201.109 that DOT headquarters will review its regulations at least every five
years after Dec. 26, 2014.
Performance
The Government Performance and Results Modernization Act (GPRMA) requires that federal
agencies establish performance goals. Federal agencies provide information to the public on their
goals and objectives in numerous ways. Federal agencies identify long-term goals and objectives
in their strategic plans; they identify annual performance goals in their annual performance plans
up-dated with the President’s budget each February.
Federal agencies report progress on their performance goals in their annual performance
reports or their Performance and Accountability Reports (PARs) which are updated either in February or November each year, respectively. Agencies post their PARs, strategic plans, and annual
performance plans on their websites. Performance.gov provides a one-stop shop for links to this
agency information. The GPRMA performance goals provide insights to the goals and objectives
of the grant programs offered by each agency and should align with the performance measures
and out-comes nonfederal entities propose for each project. The GPRMA goals also align with
the focus of the uniform guidance on performance and results. For more information, go to
http://www.transportation.gov/administrations/office-policy/fy-2014-2018-strategic-plan.
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Federal Grants Management Handbook
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Department of Transportation
Federal Highway Administration
Most FHWA assistance is distributed to states through statutory formulas. Projects are
planned, designed and selected by states and approved by the FHWA division administrator in
each state. With a few exceptions, funds for federal-aid highway and bridge projects cannot be
awarded directly to county or municipal governments. Local officials should contact their state
highway agencies to discuss the feasibility of a proposed project and the availability of funds.
In addition, the agency’s policy directive, the Federal-Aid Policy Guide, covers all administrative requirements and guidelines for FHWA assistance. The guide and current program and
policy information is available online (http://www.fhwa.dot.gov/legsregs/directives/fapgtoc.htm).
Federal Transit Administration
The FTA guidelines for managing federal awards are published in FTA Circular 5010.1D
(Aug. 27, 2012), “Grant Management Requirements,” which is available online at
http://www.fta.dot.gov/legislation_law/12349_8640.html. Although FTA updates regularly updates
its FTA circulars, FTA Circular 5010.1D has not been revised yet to reflect OMB’s uniform
guidance. Grant procurement guidelines are provided in FTA Circular 4220.1F (March 13, 2013),
titled “Third Party Contracting Guidance,” which also has yet to be updated according to the
uniform guidance.
The FTA guidelines for operating assistance formula grants are published in “Urbanized Area
Formula Program: Grant Application Instructions,” FTA Circular 9030.1E (Jan. 16, 2014). Additional administrative requirements and guidelines for capital improvement grants can be found
in FTA Circular 9300.1B (Nov. 1, 2008), “Capital Investment Program Guidance Application
Instructions.”
National Highway Traffic Safety Administration
NHTSA grants to states are administered by the regional offices (see Section 5). The Highway Safety Grants Management Resources page on the NHTSA website provides information
about regulations and policies affecting NHTSA grant programs. It is available at
http://www.nhtsa.gov/About+NHTSA/Highway+Safety+Grant+Programs/Resources+Guide.
Federal Aviation Administration
The Program Guidance Branch in the Office of Airport Planning and Programming develops airport program policy objectives and administrative requirements for its recipients. Actual
administration of FAA grants is conducted by the regional and district FAA offices (see Section
5). Information on the grant application process can be obtained from the district offices.
FAA publishes a series of advisory circulars that provide nonregulatory guidance on procedural and technical aspects of FAA grants (see Section 4). Although most of the advisory circulars are intended as guidance and are not regulatory material, some technical standards in them
are part of standard assurances made by each award recipient.
Section 3Regulations
The DOT federal assistance regulation has been updated to incorporate the uniform guidance,
with exceptions, and both are under the Code of Federal Regulations (C.F.R.). The uniform
guidance is located at 2 C.F.R. Part 200. The DOT regulation is located under 2 C.F.R. Part
1201. DOT’s nonprocurement suspension and debarment regulation is also included in Title 2 at
2 C.F.R. Part 1200. Other DOT regulations can be found in several sections of Title 14, Title
23 and Title 49 of the C.F.R. All can be accessed at eCFR at
http://www.ecfr.gov/cgi-bin/ECFR?page=browse. The uniform guidance also is located at
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Federal Grants Management Handbook
Department of Transportation9
Thompson’s website at www.grants.complianceexpert.com. The USDA regulation also can be ordered from the Superintendent of Documents, U.S. Government Printing Office, Washington, DC
20402, 202-512-1800, or accessed online at http://www.gpo.gov/fdsys.
Regulations
Title 2
Nonprocurement Suspension and Debarment
Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards
Title 14
General rulemaking procedures
Investigative and enforcement procedures
Rules of practice for federally-assisted airport enforcement proceedings
Airport noise compatibility planning
Federal aid to airports
Airport aid program
Release of airport property from surplus property disposal restrictions
State block grant pilot program
Notice of construction, alteration, activation and deactivation of airports
Passenger facility charges
Notice and approval of airport noise and access restrictions
Expenditure of federal funds for nonmilitary airports or air navigation facilities thereon
Establishment and discontinuance criteria for air traffic control services and navigational
facilities
Nonfederal navigation facilities
Protection of voluntarily submitted information
Nondiscrimination on the basis of disability in air travel
Title 23, Chapter I
Subchapter A — General Management and Administration
General
Subchapter B — Payment Procedures
Reimbursement
Administration of engineering and design related service contracts
Credit assistance for surface transportation projects
Incentive payments for controlling outdoor advertising on the interstate system
Drug offender driver’s license suspension
Subchapter C — Civil Rights
Title VI program and related statutes — implementation and review procedures
External programs
Subchapter D — National Highway Institute
Education and training programs
Subchapter E — Planning and Research
Planning and research program administration
Planning assistance and standards
Public road mileage for apportionment of highway safety funds
Highway systems
National performance management measures
Subchapter F — Transportation Infrastructure Management
Management and monitoring systems
Projects of national and regional significance evaluation and rating
Real-time system management information program
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C.F.R. Part
Number
2 C.F.R. 1200
2 C.F.R. 1201
14 C.F.R. 11
14 C.F.R. 13
14 C.F.R. 16
14 C.F.R. 150
14 C.F.R. 151
14 C.F.R. 152
14 C.F.R. 155
14 C.F.R. 156
14 C.F.R. 157
14 C.F.R. 158
14 C.F.R. 161
14 C.F.R. 169
14
14
14
14
C.F.R.
C.F.R.
C.F.R.
C.F.R.
170
171
193
382
23 C.F.R. 1
23
23
23
23
23
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
140
172
180
190
192
23 C.F.R. 200
23 C.F.R. 230
23 C.F.R. 260
23
23
23
23
23
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
420
450
460
470
490
23 C.F.R. 500
23 C.F.R. 505
23 C.F.R. 511
Federal Grants Management Handbook
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Regulations
Department of Transportation
C.F.R. Part
Number
Subchapter G — Engineering and Traffic Operations
Engineering
23 C.F.R. 620
Design standards for highways
23 C.F.R. 625
Pavement policy
23 C.F.R. 626
Value engineering
23 C.F.R. 627
Preconstruction procedures
23 C.F.R. 630
Required contract provisions
23 C.F.R. 633
Construction and maintenance
23 C.F.R. 635
Design-build contracting
23 C.F.R. 636
Construction inspection and approval
23 C.F.R. 637
Utilities
23 C.F.R. 645
Railroads
23 C.F.R. 646
Bridges, structures and hydraulics
23 C.F.R. 650
Pedestrian and bicycle accommodations and projects
23 C.F.R. 652
Traffic operations
23 C.F.R. 655
Carpool and vanpool projects
23 C.F.R. 656
Certification of size and weight enforcement
23 C.F.R. 657
Truck size and weight, route destinations — length, width and weight limitations
23 C.F.R. 658
Special programs (direct federal)
23 C.F.R. 660
Indian reservation road bridge program
23 C.F.R. 661
Emergency relief program
23 C.F.R. 668
Enforcement of heavy vehicle use tax
23 C.F.R. 669
Subchapter H — Right-of-Way and Environment
Right-of-way and real estate
23 C.F.R. 710
Highway beautification
23 C.F.R. 750
Junkyard control and acquisition
23 C.F.R. 751
Landscape and roadside development
23 C.F.R. 752
Environmental impact and related procedures
23 C.F.R. 771
Procedures for abatement of highway traffic noise and construction noise
23 C.F.R. 772
Surface transportation project delivery pilot program
23 C.F.R. 773
Parks, recreation areas, wildlife and water fowl refuges, and historic sites (Section 4(f))
23 C.F.R. 774
Mitigation of impacts to wetlands and natural habitat
23 C.F.R. 777
Subchapter I — Public Transportation
Mass transit and special use highway projects
23 C.F.R. 810
Subchapter J — Highway Safety
Highway safety improvement program
23 C.F.R. 924
Subchapter K — Intelligent Transportation Systems
Intelligent transportation system architecture and standards
23 C.F.R. 940
Title 23, Chapter II
Subchapter A — Procedures for State Highway Safety Programs
Uniform procedures for state highway safety programs
23 C.F.R. 1200
Subchapter B — Guidelines
National minimum drinking age
23 C.F.R. 1208
Operation of motor vehicles by intoxicated minors
23 C.F.R. 1210
Use of safety belts — compliance and transfer-of-funds procedures
23 C.F.R. 1215
Operation of motor vehicles by intoxicated persons
23 C.F.R. 1225
Uniform system for parking for persons with disabilities
23 C.F.R. 1235
Safety incentive grants for use of seat belts — allocations based on seat belt use rates
23 C.F.R. 1240
Subchapter D — Transfer and Sanction Programs
Open container laws
23 C.F.R. 1270
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Federal Grants Management Handbook
Department of Transportation11
Regulations
C.F.R. Part
Number
23 C.F.R. 1275
Repeat intoxicated driver laws
Title 49
Subtitle A — Office of the Secretary of Transportation
Organization and delegation of powers and duties
Rulemaking procedures
Implementation of the Equal Access to Justice Act in agency proceedings
Public availability of information
Maintenance of and access to records pertaining to individuals
Protection of human subjects
Intergovernmental review of DOT programs and activities
New restrictions on lobbying
Nondiscrimination in federally assisted programs of DOT — effectuation of Title VI of
the Civil Rights Act of 1964
Participation by disadvantaged business enterprise in airport concessions
Uniform relocation assistance and real property acquisition for federal and federally assisted programs
Nondiscrimination on the basis of sex in education programs or activities receiving
federal financial assistance
Participation by disadvantaged business enterprises in DOT financial assistance
programs
Nondiscrimination on the basis of disability in programs and activities receiving or benefiting from federal financial assistance
Enforcement of nondiscrimination on the basis of handicap in programs or activities
conducted by DOT
Denial of public works contracts to suppliers of goods and services of countries that
deny procurement market access to U.S. contractors
Program fraud civil remedies
Governmentwide requirements for drug-free workplace (financial assistance)
Transportation services for individuals with disabilities
Americans With Disabilities Act accessibility specifications for transportation vehicles
Procedures for transportation workplace drug testing programs
Seismic safety
Credit assistance for surface transportation projects
Implementation of the Federal Claims Collection Act
Recovering debts to the United States by salary offset
Subtitle B — Other Regulations Relating to Transportation
Hazardous materials program definitions and general procedures
Rulemaking procedures
Hazardous materials program procedures
Hazardous materials public sector training and planning grants
General information, regulations, and definitions
Hazardous materials table, special provisions, hazardous materials communications,
emergency response information, and training requirements
Pipeline safety programs and rulemaking procedures
Transportation of natural and other gas by pipeline; annual reports, incident reports, and
safety related condition reports
Transportation of natural and other gas by pipeline: minimum federal safety standards
Liquified natural gas facilities; federal safety standards
Response plans for onshore oil pipelines
Transportation of hazardous liquids by pipeline
Regulations for grants to aid state pipeline safety programs
Drug and alcohol testing
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August 2016
49 C.F.R. 1
49 C.F.R. 5
49 C.F.R. 6
49 C.F.R. 7
49 C.F.R. 10
49 C.F.R. 11
49 C.F.R. 17
49 C.F.R. 20
49 C.F.R. 21
49 C.F.R. 23
49 C.F.R. 24
49 C.F.R. 25
49 C.F.R. 26
49 C.F.R. 27
49 C.F.R. 28
49
49
49
49
49
49
49
49
49
49
49
49
49
49
49
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
30
31
32
37
38
40
41
80
89
92
105
106
107
110
171
49 C.F.R. 172
49 C.F.R. 190
49
49
49
49
49
49
49
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
191
192
193
194
195
198
199
Federal Grants Management Handbook
12
Department of Transportation
Regulations
State safety participation regulations
Instructions governing applications for approval of a discontinuance or material modification of a signal system or relief from the requirements of Part 236
Rules, standards, and instructions governing the installation, inspection, maintenance,
and repair of signal and train control systems, devices, and appliances
Financial assistance for railroad passenger terminals
Regulations governing loans and loan guarantees under the railroad rehabilitation and
improvement financing program
Credit assistance for surface transportation projects
Implementation of program for capital grants for rail line relocation and improvement
projects
Assistance to states for local rail service under section 5 of the Department of Transportation Act
Magnetic levitation transportation technology deployment program
Civil rights
Commercial motor carrier safety assistance program
Cooperative agreements with states
Rulemaking procedures — federal motor carrier safety regulations
Organization, functions, and procedures
Emergency relief
Charter service
School bus operations
Transportation for elderly and handicapped persons
Major capital investment projects
Planning assistance and standards
Transportation infrastructure management
Environmental impact and related procedures
Clean Fuels Formula Grant Program
Uniform system of accounts and records and reporting system
Project management oversight
Capital leases
Credit assistance for surface transportation projects
Prevention of alcohol misuse and prohibited drug use in transit operations
Rail fixed guideway systems: state safety oversight
Buy America requirements — Surface Transportation Assistance Act of 1982, as
amended
Pre-award and post-delivery audits of rolling stock purchases
Bus testing
C.F.R. Part
Number
49 C.F.R. 212
49 C.F.R. 235
49 C.F.R. 236
49 C.F.R. 256
49 C.F.R. 260
49 C.F.R. 261
49 C.F.R. 262
49
49
49
49
49
49
49
49
49
49
49
49
49
49
49
49
49
49
49
49
49
49
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
C.F.R.
266
268
303
350
388
389
601
602
604
605
609
611
613
614
622
624
630
633
639
640
655
659
49 C.F.R. 661
49 C.F.R. 663
49 C.F.R. 665
In addition, DOT has issued the following notices in the Federal Register that should be of
interest to grant recipients (followed by notices by specific DOT agencies):
Criteria to identify “disadvantaged business enterprises,” to which a certain proportion of
contracts are awarded under federally assisted highway, mass transit and airport construction
projects. 60 Fed. Reg. 38204-38205, July 25, 1995.
Guidance for consortia and third-party administrators that assist participants in DOT programs in complying with DOT drug and alcohol testing regulations. 61 Fed. Reg. 5640956425, Nov. 1, 1996.
Requirements for airports and air carriers regarding people with disabilities in federally
funded programs and activities. 62 Fed. Reg. 18377-18381, April 15, 1997.
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Department of Transportation13
Environmental justice strategy required by Executive Order 12898, which seeks to avoid federally funded actions that have an adverse health or environmental impact disproportionately
affecting minority and low-income populations. 63 Fed. Reg. 18377-18381, April 15, 1997.
Guidance for federal financial assistance recipients prohibiting national origin discrimination
as it affects limited-English-proficient people. The policy guidance clarifies the responsibilities of federal grantees and assists them in fulfilling those responsibilities. 66 Fed. Reg.
6733-6747, Jan. 22, 2001.
Primary environmental statutes and executive orders applicable to the development and review of transportation infrastructure projects. 71 Fed. Reg. 25451-25459, May 6, 2006.
Guidance on state rail plans. 48 Fed. Reg. 57450-57454, Sept. 18, 2013.
Guidance on accelerated decisionmaking in environmental reviews. 79 Fed. Reg. 67531,
Nov. 13, 2014.
Federal Aviation Administration
Revised reporting requirements for the Airport Improvement Program (AIP). 59 Fed. Reg.
26551-26552, May 20, 1994.
Revised process the FAA uses for evaluating grant applications under the AIP. 59 Fed. Reg.
54484-54489, Oct. 31, 1994.
Revised policy on the fees charged by federally assisted airports to air carriers and other
aeronautical users. 61 Fed. Reg. 31994-32022, June 21, 1996.
Revised filing date for financial reports required from sponsors of federally assisted airports. 61 Fed. Reg. 39499-39500, July 29, 1996.
Clarified policy guidelines for using AIP funds to analyze airport noise problems. 61 Fed.
Reg. 48727-48728, Sept. 26, 1996.
Interim policy and guidance regarding benefit cost analysis for airport capacity projects
requesting discretionary airport improvement program grant awards and letters of intent. 62
Fed. Reg. 34108-34110, June 24, 1997.
Procedures to help proponents identify and analyze the principle risks related to the feasibility of airport development proposals for which federal aid may be requested. This policy
aims to ensure that proponents are informed early in the planning process about certain
risks involving the financial feasibility of development. 64 Fed. Reg. 56377 Oct. 19, 1999.
Guidance for conducting annual audits of public agency Passenger Facility Charge revenue.
65 Fed. Reg. 62794-62795 Oct. 19, 2000.
Revised National Environmental Policy Act implementing instructions for airport projects.
71 Fed. Reg. 29014-29055, May 18, 2006.
Federal Highway Administration
Policy for using life-cycle analyses to evaluate transportation projects. 61 Fed. Reg. 4918749191, Sept. 18, 1996.
Final report and recommendations on the Alliance for Uniform HazMat procedures. 63 Fed.
Reg. 15362-15373, March 31, 1998.
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14
Department of Transportation
Revised procedures for allocating funds to states to reduce the evasion of motor fuel and
highway use taxes and implementation guidance for the approval and administration of related projects. 63 Fed. Reg. 54516-54519, Oct. 9, 1998.
Guidance for the Interstate Maintenance Discretionary Grant program in fiscal year 2000
and beyond. 64 Fed. Reg. 20049, April 23, 1999.
Guidance on transportation enhancements, which provides information and assistance to
states and local agencies in program delivery. 64 Fed. Reg. 73116-73117, Dec. 29, 1999.
Guidance for estimating Highway Trust Fund receipts attributable to the states. 65 Fed.
Reg. 50269-50272, Aug. 17, 2000.
Guidance on completion of all project phases during a transportation conformity lapse, if
such activities are approved prior to the lapse. 67 Fed. Reg. 5882-5885, Feb. 7, 2002.
Policy document on the Interstate Oasis Program. 71 Fed. Reg. 61529-61534, Oct. 18, 2006.
Guidance on implementing environmental review requirements under Section 6002 of SAFETEA-LU for highway and capital projects. 71 Fed. Reg. 66576-66587, Nov. 15, 2006.
List of nationally and exceptionally significant features of the federal interstate highway
system. 71 Fed. Reg. 76019-76021, Dec. 19, 2006.
Report summarizing the types of construction materials used in new bridge construction and
bridge rehabilitation projects. 74 Fed. Reg. 44437-44438, Aug. 28, 2009.
Annual report describing construction materials used in new federal-aid bridge construction
and bridge rehabilitation projects. 77 Fed. Reg. 53251-53252, Aug. 31, 2012.
Survey of the use of departmental categorical exclusions in transportation projects since
2005. 77 Fed. Reg. 74266-74267, Dec. 13, 2012.
Updated Major Project Financial Plan Guidance. 79 Fed. Reg. 75612-75617, Dec. 18, 2014.
Revised Section 139 Environmental Review Process guidance that reflects provisions of the
Moving Ahead for Progress in the 21st Century Act. 80 Fed. Reg. 13458-13459, March 13,
2015.
Federal Transit Administration
Guidance to allow completion of all project phases during a transportation conformity lapse,
if such activities are approved prior to the lapse. 67 Fed. Reg. 5882-5885, Feb. 7, 2002.
Terms and conditions for classifying high-occupancy vehicle lanes that are converted to
high-occupancy toll lanes as “fixed guideway miles” for purposes of the transit funding
formulas. 71 Fed. Reg. 77862-77868, Dec. 27, 2006.
Emergency relief docket to enable grant recipients affected by national or regional emergencies to request relief from policy statements, circulars, guidance documents and regulations.
72 Fed. Reg. 4558-4559, Jan. 31, 2007.
Circulars to assist grantees in implementing the Elderly Individuals and Individuals With
Disabilities, Job Access and Reverse Commute, and New Freedom Programs. 72 Fed. Reg.
14851-14861, March 29, 2007.
Title VI circular. 72 Fed. Reg. 18732-18746, April 16, 2007.
National Transit Database Rural Reporting Manual. 72 Fed. Reg. 68952-68955, Dec. 6, 2007.
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Department of Transportation15
Circular on the Metropolitan Planning and State Planning and Research Program Grants.
73 Fed. Reg. 42898-42901, July 23, 2008.
Required report summarizing the types of construction materials used in new federal-aid bridge
construction and bridge rehabilitation projects. 76 Fed. Ref. 55160-55161, Sept. 6, 2011.
Circular on incorporating environmental justice principles into plans, projects and activities
that receive FTA funding. 77 Fed. Reg. 42077-42082, July 17, 2012.
Circular to assist grantees in complying with Title VI of the Civil Rights Act of 1964. 77
Fed. Reg. 52116-52128, Aug. 28, 2012.
Guidance on FTA’s Emergency Relief Program for states and transit agencies that may be
affected by a declared emergency or disaster and that may seek federal funding under the
program. 80 Fed. Reg. 60222-60224, Oct. 5, 2015.
Guidance to assist grant recipients in complying with the Americans with Disabilities Act
80 Fed. Reg. 60224-60242, Oct. 5, 2015.
National Highway Transportation Safety Administration
Critical reporting elements states should use when recording and analyzing traffic safety
data for highway safety programs. 57 Fed. Reg. 1302-1309, Jan. 13, 1992.
Model specification standards for breath alcohol ignition interlock devices used by states to
sanction motorists who drive while intoxicated. 57 Fed. Reg. 11772-11787, April 7, 1992.
Revised specifications for breath alcohol measuring devices to update a list of conforming
products. 60 Fed. Reg. 14320-14322, March 16, 1995.
Revised draft guideline for minimum uniform crash criteria. 63 Fed. Reg. 6793, Feb. 10,
1998.
Updated Conforming Products List for instruments that conform to the Model Specifications
for Evidential Breath Alcohol Measurement Devices used as part of the nation’s highway
safety programs. 75 Fed. Reg. 11624-11627, March 11, 2010.
Section 4 Publications
The primary grantmaking agencies within DOT provide numerous publications to assist
recipients.
Federal Aviation Administration.
FAA’s Regulatory and Guidance Library (RGL) (http://www.airweb.faa.gov/Regulatory_and_
Guidance_Library/rgWebcomponents.nsf/HomeFrame?OpenFrameSet) is a set of searchable databases that contain regulatory, guidance and aviation product information. The RGL contains certain federal aviation regulations and special federal aviation regulations from 14 C.F.R. in their
current version as well as historical versions. The RGL also contains certain notices of proposed
rulemaking and final rules (with all preamble explanatory material) that led to the actual rule
changes.
In addition, the RGL contains make/model information for all civil aviation products, including all current type certificate data sheets; airworthiness directives, both final and proposed;
aviation safety advisory circulars, both final and draft; aircraft certification service orders; special conditions, both final and proposed; exemptions; and equivalent levels of safety.
FAA publishes a series of advisory circulars providing technical and procedural guidance
on many aspects of aviation. Advisory circulars provide guidance and, unless incorporated in
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a regulation by reference, are not binding on grant recipients. However, a number of advisory
circulars that include technical standards for airports are binding on FAA grant recipients. A
searchable repository of all aviation safety advisory circulars is available at http://www.airweb.
faa.gov/Regulatory_and_Guidance_Library/rgAdvisoryCircular.nsf/MainFrame?OpenFrameSet.
All FAA directives, orders and notices are available online at:
http://www.airweb.faa.gov/Regulatory_and_Guidance_Library/rgOrders.nsf/MainFrame?OpenFrameSet.
An Order/Notice is a directive that FAA uses to issue policy, instructions and work information to its own personnel and designees. It spells out how FAA expects to carry out its
responsibilities.
Federal Highway Administration
FHWA’s Federal-Aid Policy Guide, Technical Advisories, Orders and Notices can be viewed
online or downloaded (http://www.fhwa.dot.gov/legsregs/directives/fapgtoc.htm). It has been
updated to reflect OMB’s uniform grant guidance. The agency’s directives are written communications that prescribe or establish policy, organization, methods, procedures, requirements,
guidelines or delegations of authority. They provide information essential to the administration
or operation of the FHWA. Policy memorandums are official FHWA issuances that establish new
and/or revised policy and guidance for implementing the requirements related to FHWA’s programs. Policy memorandums can be viewed online only.
Federal Transit Administration
FTA issues guidance documents, often in the form of circulars, to provide grant recipients
with direction on program specific issues and statutory requirements. Although FTA is still updating these guidance documents to reflect the uniform guidance, they are available at
https://www.transit.dot.gov/regulations-and-guidance/fta-circulars/final-circulars:
Civil Rights
Title VI Program Guidelines for Federal Transit Administration Recipients (C 4702.1B,
10/1/12)
Equal Employment Opportunity Program Guidelines for Grant Recipients (C 4704.1,
7/26/88)
Human Resource Programs (Section 20) Application and Project Management Guidelines (C
4715.1A, 7/26/88)
Grants Management — General
Grant Management Guidelines (C 5010.1D, 8/27/12)
Full-Funding Grant Agreements Guidance (C 5200.1A, 12/5/02)
Technology Development and Deployment
Research, Technical Assistance and Training Programs: Application Instructions and Program
Management Guidelines (C 6100.1E, 4/10/15)
Policy and Program Development
FTA Financial Capacity Policy (C 7008.1A, 1/30/02)
Cross-Border Leasing Guidelines (C 7020.1, 4/26/90)
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Department of Transportation17
Planning
Program Guidance for Metropolitan Planning and State Planning and Research Program
Grants (C 8100.1C, 9/1/08)
Capital Facilities and Formula Grant Programs
Urbanized Area Formula Program: Program Guidance and Application Instructions (C
9030.1E, 1/16/14)
Nonurbanized Area Formula Program Guidance and Grant Application Instructions (C
9040.1G, 10/24/14)
The Elderly and Persons With Disabilities Program Guidance and Grant Application Instructions (C 9070.1G, 6/6/14)
Capital Investment Program Guidance and Application Instructions (C 9300.1B 11/1/08)
Intergovernmental Review of FTA Planning, Capital and Operating Programs and Activities
(C 9500.1, 3/30/84).
Section 5 Directory
Inquiries concerning the administration of specific DOT awards should be directed to the
individual operating agency. Telephone and fax numbers for the Office of the Secretary and
DOT’s operating agencies are provided below.
U.S. Department of Transportation
1200 New Jersey Ave. SE
Washington, DC 20590
202-366-4000
http://www.dot.gov
Office of the Secretary
Office of Civil Rights
Office of Inspector General
Office of Budget and Financial Management
Office of Small and Disadvantaged Business
Office of Research and Technology
Office of the Chief Information Officer
Governmental Affairs
Pipeline and Hazardous Materials Safety Administration
Maritime Administration
Surface Transportation Board, Office of the Secretary
Area Code 202
366-2332
366-4648
FAX 366-9371/5575
366-1959
FAX 543-373-2090
366-9415
FAX 366-6031
366-1930
FAX 366-7228
366-3282
FAX 366-3759
366-9201
FAX 366-7373
366-4573
366-4433
FAX 366-3666
366-4000
245-0245
Federal Aviation Administration
All questions regarding FAA grant programs should be directed to the appropriate regional
or district office. Inquiries regarding interpretations of regulations may be directed to the regional or district offices or the Office of Airport Planning and Programming.
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18
Department of Transportation
Federal Aviation Administration
U.S. Department of Transportation
800 Independence Ave. SW
Washington, DC 20591
(202) 366-4000
http://www.faa.gov
Area Code 202
267-3111
FAX 267-5047
267-8738
FAX 267-5301
267-3263
FAX 267-5383
267-3053
FAX 267-8821
267-3831
FAX 267-5302
267-7669
FAX 267-3688
267-3731
FAX 267-5383
267-3085
FAX 267-4629
267-3085
FAX 267-4629
Office of the Administrator
Associate Administrator for Airports
Planning and Environmental Division
Office of Airport Safety and Standards
Airports Financial Assistance Division
Airport Engineering Division
Airport Safety and Operations Division
Office of Airport Compliance and Management Analysis
Airport Compliance Division
FAA Regional Offices
FAA Centers
Mike Monroney Aeronautical Center
6500 S. MacArthur Blvd.
Oklahoma City, OK 73169-6901
405-954-4521
William J. Hughes Technical Center
Atlantic City International Airport
Atlantic City, NJ 08504
609-485-4000
Center for Management and Executive Leadership
4500 Palm Coast Parkway SE
Palm Coast, FL 32137-8007
386-446-7000
FAX 386-446-7200
FAA Regional Offices
New England Region (Connecticut, Maine, Massachusetts,
New Hampshire, Rhode Island, Vermont)
Regional Administrator
Federal Aviation Administration
1200 District Ave.
Burlington, MA 01803
781-238-7600
Eastern Region (Delaware, District of Columbia,
Maryland, New Jersey, New York, Pennsylvania,
Virginia, West Virginia)
Regional Administrator
Federal Aviation Administration
1 Aviation Plaza
159-30 Rockaway Blvd.
Jamaica, NY 11434-4809
718-553-3330
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Southern Region (Alabama, Florida, Georgia, Kentucky,
Mississippi, North Carolina, Puerto Rico, South
Carolina, Tennessee, Virgin Islands)
Regional Administrator
Federal Aviation Administration
1701 Columbia Ave.
College Park, GA 30337
404-305-6700
Great Lakes Region (Illinois, Indiana, Michigan,
Minnesota, North Dakota, Ohio, South Dakota,
Wisconsin)
Regional Administrator
Federal Aviation Administration
2300 E. Devon Ave.
Des Plaines, IL 60018
847-294-7272
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Federal Grants Management Handbook
Department of Transportation19
Central Region (Iowa, Kansas, Missouri, Nebraska)
Regional Administrator
Federal Aviation Administration
901 Locust St.
Kansas City, MO 64106-2641
816-329-2600
Southwest Region (Arkansas, Louisiana, New Mexico,
Oklahoma, Texas)
Regional Administrator
Federal Aviation Administration
10101 Hillwood Parkway
Fort Worth, TX 76137-4298
817-222-5600
Northwest Mountain Region (Colorado, Idaho, Montana,
Oregon, Utah, Washington, Wyoming)
Regional Administrator
Federal Aviation Administration
1601 Lind Ave. SW
Renton, WA 98055
425-227-2600
Western-Pacific Region (Arizona, California, Hawaii,
Nevada, Samoa, Guam, Northern Mariana Islands,
Marshall Islands, Singapore, Japan (Yokota))
Regional Administrator
Federal Aviation Administration
15000 Aviation Blvd.
Room 3012
Lawndale, CA 90261
310-725-3600
Alaskan Region
Regional Administrator
Federal Aviation Administration
222 W. Seventh Ave., #14
Anchorage, AK 99513
907-271-5438
Federal Highway Administration
Persons interested in the Highway Planning and Construction Program should contact their
state highway agencies. FHWA awards are administered through the division administrator in
each state, and all questions should be directed to that level. Addresses and telephone numbers
for division and regional offices are provided after the headquarters directory.
Federal Highway Administration
1200 New Jersey Ave. SE
Washington, DC 20590
202-366-0537
http://www.fhwa.dot.gov
Administrator
Associate Administrator for Planning, Environment, and Realty
Office of
Office of
Office of
Office of
Associate
Planning
Project Development and Environmental Review
Human Environment
Real Estate Services
Administrator for Infrastructure
Office of
Office of
Office of
Office of
Associate
Program Administration
Bridges and Structure
Transportation Performance Management
Asset Management, Pavements and Construction
Administrator for Operations
Office of
Office of
Office of
Associate
Freight Management and Operations
Transportation Management
Transportation Operations
Administrator for Safety
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August 2016
Area Code 202
366-2240
FAX 366-3244
366-0116
FAX 366-3713
366-0106
366-2037
366-5570
366-2058
366-0371
FAX 493-0099
366-5530
366-4599
366-0027
366-0392
366-8753
FAX 366-3225
493-0457
366-1285
366-0600
366-2288
FAX 366-3222
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20
Office of Safety Programs
Office of Safety Technologies
Associate Administrator for Federal Lands Highway
Office of Program Development
Associate Administrator for Policy and Governmental Affairs
Office of International Programs
Office of Highway Policy Information
Office of Transportation Policy Studies
Office of Legislative Affairs and Policy Communications
Chief Counsel
Associate Administrator for Public Affairs
Associate Administrator for Civil Rights
Associate Administrator for Research, Development and Technology
(Turner-Fairbank Highway Research Center (TFHRC),
6300 Georgetown Pike, McLean, VA 22101)
Office of Corporate Research, Technology and Innovation Management
Office of Infrastructure Research and Development
Office of Safety Research and Development
Office of Operations Research and Development
Office of Resource Management
Associate Administrator for Administration
Office of Acquisition and Grants Management
Office of Chief Financial Officer
Office of Management Services
Department of Transportation
Area Code 202
366-6409
366-9469
366-1285
FAX 366-7495
366-9480
366-8169
FAX 366-3590
366-4044
366-4631
FAX 366-7742
366-9232
FAX 366-3297
366-6378
FAX 366-3297
366-0740
FAX 366-7499
366-9910
FAX 366-7239
366-0693
FAX 366-1599
493-3259
FAX 493-3170
493-3181
493-3021
493-3074
493-3269
FAX 493-3419
493-3173
366-5154
FAX 366-1027
366-4232
366-6022
FAX 366-7493
366-5216
FHWA Field Organization
The field organization delivers program services to the FHWA’s partners and customers.
This organization consists of resource centers, state-level federal-aid and federal lands highway
divisions.
Resource Centers
The resource centers support the state-level division offices in their primary role of program
delivery to FHWA’s partners and customers by providing leadership on strategic initiatives, expert assistance on technical, process, and program issues; training; technology transfer; intermodal and interagency coordination; legal services; and civil rights. FHWA has five resource centers,
in Baltimore, Md., Atlanta, Ga., Matteson, Ill., Lakewood, Colo., and San Francisco, Calif., each
serving a core constituency of federal-aid division offices and agency partners and customers in
designated states. The term core constituency means that for the purpose of providing administrative supervision to the division offices, the resource centers are assigned a designated group
of states in their respective geographical areas. However, specific technical expertise in a given
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Federal Grants Management Handbook
Department of Transportation21
resource center may be shared with other resource centers and division offices throughout the
country. The resource centers do not exercise program control over the division offices.
Federal-aid Division Offices
These division offices provide front line federal-aid program delivery assistance to partners and
customers in highway transportation and safety services, including but not limited to, planning and
research, preliminary engineering, technology transfer, right-of-way, bridge, highway safety, traffic
operations, environment, civil rights, design construction and maintenance, engineering coordination, highway beautification, and administration. Each of the 52 operating division offices (one
in each state, the District of Columbia, and Puerto Rico) is located in the same city as the state
department of transportation, which is usually the state capital. In addition, jointly with the Federal Transit Administration, the FHWA operates four metropolitan offices in Philadelphia, Pa.; New
York, N.Y.; Chicago, Ill.; and Los Angeles, Calif., that are extensions of their respective division
offices. These offices provide assistance, guidance and information regarding federal transportation
programs to local, state and other federal agencies in these metropolitan areas.
Federal Lands Highway Divisions
The federal lands highway (FLH) divisions, which report to the Headquarters Federal Lands
Highway Office, administer FLH programs (Forest Highways, Park Roads and Parkways, Public Lands, Refuge Roads, and Indian Reservation Roads); the Defense Access Roads Program;
and the Emergency Relief Program on Federally Owned Roads; provide engineering related
services to other federal agencies, FHWA offices, and foreign countries as directed; and carry
out technology and training activities related to FLH projects. There are three FLH divisions
(Eastern, Central, and Western) located in Sterling, Va.; Lakewood, Colo.; and Vancouver, Wash.;
respectively.
Resource Centers
Baltimore Location
10 S. Howard St.
Suite 4000
Baltimore, MD 21201-2819
410-962-0093
410-962-3419 FAX
Lakewood Location
12300 W. Dakota Ave.
Suite 340
Lakewood, CO 80228
720-963-3250
720-963-3232 FAX
Matteson Location
1 Prairie Office Center
4749 Lincoln Mall Drive
Sixth Floor
Matteson, IL 60443
708-283-3500
708-283-3501 FAX
San Francisco Location
201 Mission St.
Suite 1700
San Francisco, CA 94105
415-744-3100
415-744-2620 FAX
Atlanta Location
61 Forsyth St. SW
Suite 17T26
Atlanta, GA 30303
404-562-3570
404-562-3700 FAX
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Federal Lands Highway Division Offices
Eastern
Federal Lands Highway Division Engineer
Loudoun Technical Center
21400 Ridgetop Circle
Sterling, VA 20166-6511
703-404-6201
703-404-6217 FAX
Central
Federal Lands Highway Division Engineer
12300 W. Dakota Ave.
Lakewood, CO 80228
720-963-3500
720-963-3379 FAX
Western
Federal Lands Highway Division Engineer
610 E. Fifth St.
Vancouver, WA 98661
360-619-7700
360-619-7846
Division Administrators
(Division Offices)
Department of Transportation
California
Division Administrator
Federal Highway Administration
650 Capitol Mall
Suite 4-100
Sacramento, CA 95814
916-498-5001
916-498-5008 FAX
Colorado
Division Administrator
Federal Highway Administration
12300 W. Dakota Ave.
Suite 180
Lakewood, CO 80228-1097
720-963-3000
720-963-3001 FAX
Connecticut
Division Administrator
Federal Highway Administration
628-2 Hebron Ave.
Suite 303
Glastonbury, CT 06033-5007
860-659-6703
860-659-6724 FAX
Alabama
Division Administrator
Federal Highway Administration
9500 Wynlakes Place
Montgomery, AL 36117-2018
334-274-6350
334-274-6352 FAX
Delaware
Division Administrator
Federal Highway Administration
300 S. New St.
Suite 2101
Dover, DE 19904
302-734-5323
302-734-3066 FAX
Alaska
Division Administrator
Federal Highway Administration
709 W. Ninth St.
Room 851
Juneau, AK 99802-1648
907-586-7418
907-586-7420 FAX
District of Columbia
Division Administrator
Federal Highway Administration
1990 K St. NW
Suite 510
Washington, DC 20006-1103
202-219-3570
202-219-3545 FAX
Arizona
Division Administrator
Federal Highway Administration
4000 N. Central Ave
Suite 1500
Phoenix, AZ 85012-1906
602-379-3646
602-382-8998 FAX
Florida
Division Administrator
Federal Highway Administration
3500 Financial Plaza
Suite 400
Tallahassee, FL 32312
850-553-2200
850-942-9691 FAX
Arkansas
Division Administrator
Federal Highway Administration
Federal Office Building
700 W. Capitol Ave.
Room 3130
Little Rock, AR 72201-3298
501-324-5625
501-324-6423 FAX
Georgia
Division Administrator
Federal Highway Administration
61 Forsyth St. SW
Suite 17T100
Atlanta, GA 30303-3104
404-562-3630
404-562-3703 FAX
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August 2016
Federal Grants Management Handbook
Department of Transportation23
Hawaii
Division Administrator
Federal Highway Administration
Prince Jonah Kuhio Kalanianaole Federal Building
300 Ala Moana Blvd.
Room 3-306
P.O. Box 50206
Honolulu, HI 96850
808-541-2700
808-541-2704 FAX
Idaho
Division Administrator
Federal Highway Administration
3050 Lakeharbor Lane
Suite 126
Boise, ID 83703-6243
208-334-1843
Illinois
Division Administrator
Federal Highway Administration
3250 Executive Park Drive
Springfield, IL 62703-4514
217-492-4640
217-492-4621 FAX
Indiana
Division Administrator
Federal Highway Administration
575 N. Pennsylvania St.
Room 254
Indianapolis, IN 46204-1576
317-226-7475
Iowa
Division Administrator
Federal Highway Administration
105 Sixth St.
Ames, IA 50010-6337
515-233-7300
515-233-7499 FAX
Kansas
Division Administrator
Federal Highway Administration
6111 SW 29th St.
Suite 100
Topeka, KS 66614-4271
785-273-2600
785-273-2620 FAX
Kentucky
Division Administrator
Federal Highway Administration
John C. Watts Federal Building
330 W. Broadway
Frankfort, KY 40601-1922
502-223-6720
502-223-6735 FAX
© Thompson Information Services
Louisiana
Division Administrator
Federal Highway Administration
5304 Flanders Drive
Suite A
Baton Rouge, LA 70808-4348
225-757-7600
225-757-7601 FAX
Maine
Division Administrator
Federal Highway Administration
Edmund S. Muskie Federal Building
40 Western Ave.
Room 614
Augusta, ME 04330-6394
207-622-8350
207-626-9133 FAX
Maryland
Division Administrator
Federal Highway Administration
City Crescent Building
10 S. Howard St.
Suite 2450
Baltimore, MD 21201-2819
410-962-4440
410-962-4054 FAX
Massachusetts
Division Administrator
Federal Highway Administration
55 Broadway
10th Floor
Cambridge, MA 02142-1093
617-494-3657
617-494-3355 FAX
Michigan
Division Administrator
Federal Highway Administration
Federal Building
Room 201
315 W. Allegan St.
Lansing, MI 48933-1528
517-377-1844
517-377-1804 FAX
Minnesota
Division Administrator
Federal Highway Administration
Galtier Plaza
380 Jackson St.
Suite 500
St. Paul, MN 55101-2904
651-291-6100
651-291-6000 FAX
Mississippi
Division Administrator
Federal Highway Administration
100 W. Capital St.
Suite 1062
Jackson, MS 39269
601-965-4215
601-965-4231 FAX
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Federal Grants Management Handbook
24
Missouri
Division Administrator
Federal Highway Administration
3220 W. Edgewood
Suite H
Jefferson City, MO 65109
573-636-7104
573-636-9283 FAX
Montana
Division Administrator
Federal Highway Administration
585 Shepard Way
Suite 2
Helena, MT 59601
406-441-3900
406-449-5314 FAX
Nebraska
Division Administrator
Federal Highway Administration
Federal Building
Room 220
100 Centennial Mall North
Lincoln, NE 68508-3851
402-742-8460
402-742-8480 FAX
Nevada
Division Administrator
Federal Highway Administration
705 N. Plaza St.
Suite 220
Carson City, NV 89701-0602
775-687-1204
775-687-3803 FAX
New Hampshire
Division Administrator
Federal Highway Administration
53 Pleasant St.
Suite 2200
Concord, NH 03301-8539
603-228-0417
Department of Transportation
New York
Division Administrator
Federal Highway Administration
Leo W. O’Brien Federal Building
Room 719
11A Clinton Ave.
Albany, NY 12207
518-431-4127
518-431-4121 FAX
North Carolina
Division Administrator
Federal Highway Administration
310 New Bern Ave.
Suite 410
Raleigh, NC 27601-1441
919-856-4346
919-747-7030 FAX
North Dakota
Division Administrator
Federal Highway Administration
4503 Coleman St.
Suite 205
Bismarck, ND 58503-0567
701-250-4204
701-250-4395 FAX
Ohio
Division Administrator
Federal Highway Administration
200 N. High St.
Room 328
Columbus, OH 43215
614-280-6896
Oklahoma
Division Administrator
Federal Highway Administration
5801 N. Robinson Ave.
Suite 300
Oklahoma City, OK 73118
405-254-3300
405-254-3302 FAX
New Jersey
Division Administrator
Federal Highway Administration
840 Bear Tavern Road
Suite 202
W. Trenton, NJ 08628-1019
609-637-4200
609-538-4919 FAX
Oregon
Division Administrator
Federal Highway Administration
The Equitable Center
Suite 420
530 Center St. NE
Salem, OR 97301-3740
503-399-5749
503-399-5838 FAX
New Mexico
Division Administrator
Federal Highway Administration
4001 Office Court Drive
Suite 801
Santa Fe, NM 87507
505-820-2021
505-820-2040 FAX
Pennsylvania
Division Administrator
Federal Highway Administration
228 Walnut St.
Room 508
Harrisburg, PA 17101-1720
717-221-3461
717-221-3494 FAX
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August 2016
Federal Grants Management Handbook
Department of Transportation25
Puerto Rico
Division Administrator
Federal Highway Administration
350 Carlos Chardon St.
Suite 210
San Juan, PR 00918
787-766-5600
787-766-5924 FAX
Rhode Island
Division Administrator
Federal Highway Administration
380 Westminster St.
Suite 601
Providence, RI 02903-3246
401-528-4541
401-528-4542 FAX
South Carolina
Division Administrator
Federal Highway Administration
Strom Thurmond Federal Building
1835 Assembly St.
Suite 1270
Columbia, SC 29201-2483
803-765-5411
803-253-3989 FAX
South Dakota
Division Administrator
Federal Highway Administration
The Sibley Building
116 E. Dakota Ave.
Suite A
Pierre, SD 57501-3110
605-224-8033
605-224-8307 FAX
Tennessee
Division Administrator
Federal Highway Administration
404 BNA Drive
Building 200
Suite 508
Nashville, TN 37217
615-781-5770
615-781-5773 FAX
Texas
Division Administrator
Federal Highway Administration
Federal Office Building
Room 826
300 E. Eighth St.
Austin, TX 78701-3233
512-536-5900
512-536-5990 FAX
Vermont
Division Administrator
Federal Highway Administration
Federal Building
87 State St.
Suite 216
Montpelier, VT 05602
802-828-4423
802-828-4424 FAX
Virginia
Division Administrator
Federal Highway Administration
400 N. Eighth St.
Room 750
Richmond, VA 23219-4825
804-775-3320
804-775-3356 FAX
Washington
Division Administrator
Federal Highway Administration
Evergreen Plaza
Suite 501
711 Capitol Way
Olympia, WA 98501-1284
360-753-9480
360-753-9889 FAX
West Virginia
Division Administrator
Federal Highway Administration
Geary Plaza
700 Washington St. E.
Suite 200
Charleston, WV 25301-1604
304-347-5928
Wisconsin
Division Administrator
Federal Highway Administration
525 Junction Road
Suite 8000
Madison, WI 53717
608-829-7500
608-829-7526 FAX
Wyoming
Division Administrator
Federal Highway Administration
2617 E. Lincoln Way
Suite D
Cheyenne, WY 82001-5671
307-772-2101
307-772-2011 FAX
Utah
Division Administrator
Federal Highway Administration
2520 W. 4700 South
Suite 9A
Salt Lake City, UT 84118-1847
801-955-3500
801-955-3539 FAX
© Thompson Information Services
August 2016
Federal Grants Management Handbook
26
Department of Transportation
Federal Transit Administration
All inquiries concerning the administration of FTA grants should be directed to the appropriate regional office. Addresses for the FTA headquarters and regional offices are provided below.
Federal Transit Administration
U.S. Department of Transportation
400 Seventh St. SW
Washington, DC 20590
http://www.fta.dot.gov
202-366-4043
202-366-3472 FAX
Area Code 202
366-4040
366-4007
366-4011
366-4052
366-4020
366-4050
366-4033
366-4018
366-4043
366-1783
Office of the Administrator
Deputy Administrator
Office of Chief Counsel
Research, Demonstration and Innovation
Program Management
Budget and Policy
Planning and Environment
Office of Civil Rights
Office of Communications and Congressional Affairs
Office of Transit Safety and Oversight
Regional Offices
Region I (Connecticut, Maine, Massachusetts, New
Hampshire, Rhode Island, Vermont)
Regional Administrator
Federal Transit Administration
Transportation Systems Center
Kendall Square
55 Broadway
Suite 920
Cambridge, MA 02142-1093
617-494-2055
617-494-2865 FAX
Region IV (Alabama, Florida, Georgia, Kentucky,
Mississippi, North Carolina, Puerto Rico, South
Carolina, Tennessee, Virgin Islands)
Regional Administrator
Federal Transit Administration
Atlanta Federal Center
230 Peachtree NW
Suite 800
Atlanta, GA 30303
404-865-5600
404-865-5606 FAX
Region II (New Jersey, New York, Virgin Islands)
Regional Administrator
Federal Transit Administration
1 Bowling Green
Room 428
New York, NY 10004-1453
212-668-2170
212-668-2136 FAX
Region V (Illinois, Indiana, Michigan, Minnesota, Ohio,
Wisconsin)
Regional Administrator
Federal Transit Administratio
200 W. Adams St.
Suite 320
Chicago, IL 60606
312-353-2789
312-886-0351 FAX
Region III (Delaware, District of Columbia, Maryland,
Pennsylvania, Virginia, West Virginia)
Regional Administrator
Federal Transit Administration
1760 Market St.
Suite 500
Philadelphia, PA 19103-4124
215-656-7100
215-656-7260 FAX
© Thompson Information Services
Region VI (Arkansas, Louisiana, New Mexico, Oklahoma,
Texas)
Regional Administrator
Federal Transit Administration
819 Taylor St.
Room 14A02
Ft. Worth, TX 76102
817-978-0550
817-978-0575 FAX
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Federal Grants Management Handbook
Department of Transportation27
Region IX (American Samoa, Arizona, California, Guam,
Hawaii, Nevada, Northern Mariana Islands)
Regional Administrator
Federal Transit Administration
90 Seventh St.
Suite 15-300
San Francisco, CA 94105
415-734-9490
415-734-9489 FAX
Region VII (Iowa, Kansas, Missouri, Nebraska)
Regional Administrator
Federal Transit Administration
901 Locust St.
Suite 404
Kansas City, MO 64106
816-329-3920
816-329-3921 FAX
Region VIII (Colorado, Montana, North Dakota, South
Dakota, Utah, Wyoming)
Regional Administrator
Federal Transit Administration
1961 Stout St.
Suite 13-301
Denver, CO 80202
303-362-2400
303-362-2424
Region X (Alaska, Idaho, Oregon, Washington)
Regional Administrator
Federal Transit Administration
Jackson Federal Building
915 Second Ave.
Suite 3142
Seattle, WA 98174-1002
206-220-7954
206-220-7959 FAX
National Highway Traffic Safety Administration
The NHTSA headquarters is located at:
National Highway Traffic Safety Administration
U.S. Department of Transportation
1200 New Jersey Ave. SE
West Building
Washington, DC 20590
888-327-4236
http://www.nhtsa.dot.gov
Area Code 202
366-1836
FAX 366-2105
366-9511
FAX 366-3820
366-0972
FAX 366-1746
366-5289
FAX 366-5930
366-2550
FAX 366-2559
366-9550
FAX 366-6916
366-2121
FAX 366-7149
366-4913
Office of the Administrator
Office of the Chief Counsel
Office of Civil Rights
Vehicle Safety
Policy and Operations
Communications and Consumer Information
Traffic Injury Control
Research and Program Development
© Thompson Information Services
August 2016
Federal Grants Management Handbook
28
Department of Transportation
Regional Offices
Region VI (Arkansas, Indian Nations, Louisiana, New
Mexico, Oklahoma, Texas)
Regional Administrator
National Highway Traffic Safety Administration
819 Taylor St.
Room 8A38
Fort Worth, TX 76102
817-978-3653
817-978-8339 FAX
Region I (Connecticut, Maine, Massachusetts, New
Hampshire, Rhode Island, Vermont)
Regional Administrator
National Highway Traffic Safety Administration
Volpe National Transportation Systems Center
55 Broadway
Kendall Square Code 8E
Cambridge, MA 02142
617-494-3427
617-494-3646 FAX
Region II (New Jersey, New York, Puerto Rico, Virgin
Islands)
Regional Administrator
National Highway Traffic Safety Administration
245 Main St.
Suite 210
White Plains, NY 10601
914-682-6162
914-682-6239 FAX
Region III (Delaware, District of Columbia, Maryland,
Pennsylvania, Virginia, West Virginia)
Regional Administrator
National Highway Traffic Safety Administration
10 S. Howard St.
Suite 6700
Baltimore, MD 21201
410-962-0090
410-962-2770 FAX
Region IV (Alabama, Florida, Georgia, Kentucky,
Mississippi, North Carolina, South Carolina,
Tennessee)
Regional Administrator
National Highway Traffic Safety Administration
Atlanta Federal Center
61 Forsyth St. SW
Atlanta, GA 30303
404-562-3739
404-562-3763 FAX
Region V (Illinois, Indiana, Michigan, Minnesota, Ohio,
Wisconsin)
Regional Administrator
National Highway Traffic Safety Administration
4749 Lincoln Mall Drive
Suite 300B
Matteson, IL 60443
708-503-8822
708-503-8991 FAX
© Thompson Information Services
Region VII (Iowa, Kansas, Missouri, Nebraska)
Regional Administrator
National Highway Traffic Safety Administration
901 Locust St.
Room 466
Kansas City, MO 64106
816-329-3900
816-329-3910 FAX
Region VIII (Colorado, Montana, North Dakota, South
Dakota, Utah, Wyoming)
Regional Administrator
National Highway Traffic Safety Administration
12300 W. Dakota Ave
Suite 140
Lakewood, CO 80228
702-963-3100
702-963-3124 FAX
Region IX (American Samoa, Arizona, California, Guam,
Hawaii, Northern Mariana Islands, Nevada)
Regional Administrator
National Highway Traffic Safety Administration
650 Capitol Mall
Suite 5-400
Sacramento, CA 95814
916-498-5058
Region X (Alaska, Idaho, Oregon, Washington)
Regional Administrator
National Highway Traffic Safety Administration
3140 Jackson Federal Building
915 Second Ave.
Seattle, WA 98174
206-220-7640
206-220-7651 FAX
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Federal Grants Management Handbook
Department of Transportation29
Section 6 Grant Administration Regulations
(Editors note: The U.S. Department
of Transportation adopted the Office of
Management and Budget’s uniform grant
guidance, with some exceptions, into its
regulations. The uniform guidance is
located at Thompson’s website at http://
www.grants.complianceexpert.com.)
PART 1201—UNIFORM
ADMINISTRATIVE
REQUIREMENTS, COST
PRINCIPLES, AND AUDIT
REQUIREMENTS FOR FEDERAL
AWARDS
Sec.
1201.1 What does this part do?
1201.2 Definitions.
1201.80 Program income.
1201.102 Exceptions.
1201.106 DOT Component
implementation.
1201.107 DOT Headquarters
responsibilities.
1201.108 Inquiries.
1201.109 Review date.
1201.112 Conflict of interest.
1201.206 Standard application
requirements.
1201.313 Equipment.
1201.317 Procurements by States.
1201.319 Competition.
1201.327 Financial reporting.
1201.330 Subrecipient and contractor
determinations.
Authority: 49 U.S.C. 322(a); 2 CFR
200.106.
§ 1201.1 What does this part do?
Except as otherwise provided in this
part, the Department of Transportation
adopts the Office of Management and
Budget Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (2 CFR
part 200). This part supersedes and repeals the requirements of the Department
of Transportation Common Rules (49
CFR part 18—Uniform Administrative
Requirements for Grants and Cooperative
Agreements to State and Local Governments and 49 CFR part 19—Uniform
Administrative Requirements—Uniform
Administrative Requirements for Grants
and Agreements with Institutions of
Higher Education, Hospitals, and other
Non- Profit Organizations), except that
grants and cooperative agreements executed prior to December 26, 2014 shall
continue to be subject to 49 CFR parts
18 and 19 as in effect on the date of such
grants or agreements. New parts with
terminology specific to the Department of
Transportation follow.
§ 1201.2 Definitions.
Throughout this part, the term ‘‘DOT
Component’’ refers to any Division, Office, or Mode (e.g., the Federal Aviation
Administration (FAA), Federal Highway
© Thompson Information Services
Administration (FHWA), Federal Motor
Carrier Safety Administration (FMCSA),
Federal Railroad Administration (FRA),
Federal Transit Administration (FTA),
Maritime Administration (MARAD),
National Highway Traffic Safety Administration (NHTSA), Office of Inspector
General (OIG), Office of the Secretary
of Transportation (OST), Pipeline and
Hazardous Materials Safety Administration (PHMSA), St. Lawrence Seaway
Development Corporation (SLSDC), and
the Surface Transportation Board (STB))
within the Department of Transportation
awarding Federal financial assistance. In
addition, the term ‘‘DOT Headquarters’’
refers to the Secretary of Transportation
or any office designated by the Secretary
to fulfill headquarters’ functions within
any office under the Secretary’s immediate supervision.
§ 1201.80 Program income.
Notwithstanding 2 CFR 200.80, program income means gross income earned
by the non-Federal entity that is directly
generated by a supported activity or
earned as a result of the Federal award
during the period of performance. (See
2 CFR 200.77 Period of performance.)
Program income includes but is not
limited to income from fees for services
performed, the use or rental or real or
personal property acquired under Federal
awards, the sale of commodities or items
fabricated under a Federal award, license
fees and royalties on patents and copyrights, and principal and interest on loans
made with Federal award funds. Interest
earned on advances of Federal funds is
not program income. Except as otherwise
provided in Federal statutes, regulations,
or the terms and conditions of the Federal
award, program income does not include
rebates, credits, discounts, taxes, special
assessments, levies, and fines raised by
a grantee and subgrantee, and interest
earned on any of them.
§ 1201.102 Exceptions.
DOT Headquarters may grant exceptions to Part 1201 on a case-by-case
basis. Such exceptions will be granted
only as determined by the Secretary of
Transportation.
§ 1201.106 DOT Component
implementation.
The specific requirements and responsibilities for grant-making DOT
Components are set forth in this part.
DOT Components must implement the
language in this part unless different provisions are required by Federal statute or
are approved by DOT Headquarters. DOT
Components making Federal awards to
non-Federal entities must implement the
language in the Subpart C—Pre-Federal
Award Requirements and Contents of
Federal Awards of this Part through Subpart F—Audit Requirements of this Part
August 2016
in codified regulations unless different
provisions are required by Federal statute
or are approved by DOT Headquarters.
§ 1201.107 DOT Headquarters
responsibilities.
DOT Headquarters will review DOT
Component implementation of this part,
and will provide interpretations of policy
requirements and assistance to ensure effective and efficient implementation. Any
exceptions will be subject to approval by
DOT Headquarters. Exceptions will only
be made in particular cases where adequate justification is presented.
§ 1201.108 Inquiries.
Inquiries regarding Part 1201 should
be addressed to the DOT Component
making the award, cognizant agency for
indirect costs, cognizant or oversight
agency for audit, or pass-through entities
as appropriate. DOT Components will,
in turn, direct the inquiry to the Office of
Chief Financial Officer, Department of
Transportation.
§ 1201.109 Review date.
DOT Headquarters will review this part
at least every five years after December
26, 2014.
§ 1201.112 Conflict of interest.
The DOT Component making a financial assistance award must establish
conflict of interest policies for Federal
awards, including policies from DOT
Headquarters. The non-Federal entity
must disclose in writing any potential
conflict of interest to the DOT Component or pass-through entity in accordance
with applicable Federal awarding agency
policy.
§ 1201.206 Standard application
requirements.
The requirements of 2 CFR 200.206
do not apply to formula grant programs,
which do not require applicants to apply
for funds on a project basis.
§ 1201.313 Equipment.
Notwithstanding 2 CFR 200.313,
subrecipients of States shall follow such
policies and procedures allowed by the
State with respect to the use, management
and disposal of equipment acquired under
a Federal award.
§ 1201.317 Procurements by States.
Notwithstanding 2 CFR 200.317,
subrecipients of States shall follow such
policies and procedures allowed by the
State when procuring property and services under a Federal award.
§ 1201.327 Financial reporting.
Notwithstanding 2 CFR 200.327, recipients of FHWA and NHTSA financial
assistance may use FHWA, NHTSA or
State financial reports.
Federal Grants Management Handbook
30
Department of Transportation
Title 49—Transportation
Subtitle A—Office of the Secretary
of Transportation
PART 18—[REMOVED AND
RESERVED]
PART 19—[REMOVED AND
RESERVED]
© Thompson Information Services
August 2016
Federal Grants Management Handbook